Land Acquisition and Resettlement Framework

Transcription

1 Land Acquisition and Resettlement Framework Land Acquisition and Resettlement Framework (LARF) November 2012 UZB: Second Central Asia Regional Economic Cooperation Corridor 2 Road Investment Program Prepared by the Republican Road Fund under the Ministry of Finance of Uzbekistan for the Asian Development Bank. The land acquisition and resettlement framework is the document of the borrower. The views expressed herein do not necessarily represent those of ADB s Board of Directors, Management, or staff, and may be preliminary in nature.

2 О ZBEKISTON RESPUBLIKASI MOLIYA VAZIRLIGI HUZURIDAGI RESPUBLIKA YO'L JAMG ARMASI РЕСПУБЛИКАНСКИЙ ДОРОЖНЫЙ ФОНД ПРИ МИНИСТЕРСТВЕ ФИНАНСОВ РЕСПУБЛИКИ УЗБЕКИСТАН 201 г. То Mr. Hong Wang Director, Infrastructure Division Central Asia and West Asia Department Asian Development Bank, ADB PO Box 789Manila Philippines 0980 Tel: (632) , Fax (632) Subject: Second CAREC Corridor 2 Road Investment Program, Project 2, Reconstruction of 4PH2 Fergana Ring Road (Pungan-Namangan), Section from 0 to 75 km (75 km),. Submission of Land Acquisition and Resettlement Framework. Dear Mr. Wang, We are submitting the updated Land Acquisition and Resettlement Framework for Project 2 for your consideration and approval. Sincerely, Jamol Shukurov Director of Republican Road Fund Ministry of Finance Uzbekistan , Toshkent sh., Istiqlol, 29 Tel: (998 71) , Faks: (998 71) , г. Ташкент, Истиклол, 29 Тел.: (998 71) , Факс: (998 71)

3 TABLE OF CONTENTS Page I. INTRODUCTION 5 II. OBJECTIVES, POLICY FRAMEWORK AND ENTITLEMENTS 6 III. SOCIOECONOMIC INFORMATION AND SURVEY 22 IV. COMPENSATION, INCOME RESTORATION AND RELOCATION 23 V. CONSULTATION, PARTICIPATION AND DISCLOSURE 25 VI. GRIEVANCE REDRESS MECHANISM 26 VII. INSTITUTIONAL ARRANGEMENTS AND IMPLEMENTATION 28 VIII. BUDGET AND FINANCING 31 IX. IMPLEMENTATION SCHEDULE 32 X. MONITORING AND REPORTING 32 APPENDIXES 1. Comparison between Government and ADB Policy Outline of a Resettlement Plan 42 1

4 ABBREVIATIONS ADB Asian Development Bank AH Affected Household AP Affected Person CAREC Central Asia Regional Economic Cooperation Corridor CC Civil Code CoM Council of Ministers CSS Country Safeguard System DI Design Institute DMS Detailed Measurement Survey EA Executing Agency ERD Environment and Resettlement Division FGD Focus Group Discussion FP Focal Point GOU Government of Uzbekistan HC Housing Code IA Implementing Agency IR Involuntary Resettlement IP Indigenous People Km _ Kilometer KMK Construction norms LA Land Acquisition LARC Land Acquisition and Resettlement Commission LARP Land Acquisition and Resettlement Plan LC Land Code LLC Limited Liability Company LRCD Land Resources and Cadastre Department NGO Non-Governmental Organization PMU Project Management Unit PPTA Project Preparatory Technical Assistance RC Resettlement Consultants RP Resettlement Plan SCLRGCSC _ State Committee on Land Resources, Geodesy, Cartography and State Cadastre RRF Republic Road Fund ROW Right-of-way SPS Safeguard Policy Statement (ADB 2009) TA Technical Assistance YLB Yol Loyiha Byurosi CURRENCY EQUIVALENTS (As on October 2012) Currency Unit Sum (UZS) UZS 1.00 = $ $1.00 = UZS 1, i ii NOTE In this report, $ refers to United State Dollars (USD) UZS refers to Uzbekistan Sum 2

5 GLOSSARY Affected Persons Compensation Cut-off-date Economic Displacement Encroachers Entitlement Hokimiyat Affected persons (APs) are those who experience full or partial, permanent or temporary physical displacement (relocation, loss of residential land, or loss of shelter) and economic displacement (loss of land, assets, access to assets, income sources, or means of livelihoods) resulting from (i) involuntary acquisition of land, or (ii) involuntary restrictions on land use or on access to legally designated parks and protected areas. APs could be of three types: (i) persons with formal legal rights to land lost in its entirety or in part; (ii) persons who lost the land they occupy in its entirety or in part who have no formal legal rights to such land, but who have claims to such lands that are recognized or recognizable under national laws; and (iii) persons who lost the land they occupy in its entirety or in part who have neither formal legal rights nor recognized or recognizable claims to such land. Payment in cash or kind for an asset to be acquired or affected by a project at replacement cost. The date after which people will not be considered eligible for compensation i.e. they are not included in the list of AHs as defined by the census. Normally, the cut-off date is the date of the detailed measurement survey. Loss of land, assets, access to assets, income sources, or means of livelihoods as a result of (i) involuntary acquisition of land, or (ii) involuntary restrictions on land use or on access to legally designated parks and protected areas. Those people who move into the project area after the cut-off date and are therefore not eligible for compensation or other rehabilitation measures provided by the project. The range of measures comprising cash or kind compensation, relocation cost, income rehabilitation assistance, transfer assistance, income substitution, and relocation which are due to /business restoration which are due to AH, depending on the type and degree nature of their losses, to restore their social and economic base. All entitlements will be given to all affected households as per the entitlement matrix. Local Government Authority that is the most important interface between local communities and the government at the regional and national level. It has ultimate administrative and legal authority over local populations residing within its jurisdiction. Inventory Loss Illegal of The pre-appraisal inventory of assets as a preliminary record of affected or lost assets. HHs that are not registered their business, agriculture, residential and orchard and those who have no recognizable rights or claims to the land that they are occupying and includes people using private or state land without permission, permit or grant i.e. those people without legal lease to land and/or structures occupied or used by them. ADB s policy explicitly states that such people cannot be denied compensation. Land acquisition Leaseholder Land Use rights The process whereby a person is compelled by a public agency to alienate all or part of the land s/he owns or possesses, to the ownership and possession of that agency, for public purposes, in return for fair compensation. Juridical person (farm) running agricultural production with the use of land parcels granted to him on a long-term lease. Lease term is limited up to fifty years but not less than for ten years. Leaseholder cannot sell - buy, mortgage, present, exchange the land According to Land Code (article 17) real persons (can have the land plot under the right of lifelong inheritable possession and land parcel use transferred as descent. This right is given to individual residential housing construction and collective gardening and vineyard (orchards), peasant farms. Juridical persons (enterprises, stores, business) can posses land parcels according to the right to permanent possession, permanent use, temporary use, lease and property 3

6 In two above case when person wants to sell the Property (land and building), he will sell the building & structure and subsequently land parcel will be sold as an attachment (right is being sold). Mahalla Meaningful Consultation Poor Physical Displacement Replacement cost Significant impact Vulnerable Is a local level community-based organization recognized official by the GoU that serves as the interface between state and community and is responsible for facilitating a range of social support facilities and ensuring the internal social and cultural cohesiveness of its members. Mahalla leaders are elected by their local communities. A process that (i) begins early in the project preparation stage and is carried out on an ongoing basis throughout the project cycle; (ii) provides timely disclosure of relevant and adequate information that is understandable and readily accessible to affected people; (iii) is undertaken in an atmosphere free of intimidation or coercion; (iv) is gender inclusive and responsive, and tailored to the needs of disadvantaged and vulnerable groups; and (v) enables the incorporation of all relevant views of affected people and other stakeholders into decision making, such as project design, mitigation measures, the sharing of development benefits and opportunities, and implementation issues. According to the GoU the poor are classified as households where the monthly per capita income is less than the equivalent of UZS 111,000 (approximately US$1.65 per capita per day), which is similar to the internationally accepted income poverty line of US$1.65 per capita, per day. According to WB poverty data in 2011 the number of people living in poverty constitutes 17% of the population. Relocation, loss of residential land, or loss of shelter as a result of (i) involuntary acquisition of land, or (ii) involuntary restrictions on land use or on access to legally designated parks and protected areas. The method of valuing assets to replace the loss at current market value, or its nearest equivalent, and is the amount of cash or kind needed to replace an asset in its existing condition, without deduction of transaction costs or for any material salvaged. 200 people or more will experience major impacts, which are defined as; (i) being physically displaced from housing, or (ii) losing ten per cent or more of their productive assets (income generating) or in the case of ethnic minority peoples 100 people of more that will experience major impacts. Low-income households, female-headed households with fewer than 2 adult incomeearners, the elderly headed with unemployed family members, and disabled. 4

7 5 I. INTRODUCTION A. The Project 1. This Land Acquisition and Resettlement Framework (LARF) has been prepared for the Multi-Tranche Finance Facility for the Central Asia Regional Economic Cooperation (CAREC) Corridor 2 Road Investment Program II in Uzbekistan (Project 2). 2. Uzbekistan is a key transit point in Central Asia for countries looking to trade among themselves, as well as with the rest of Asia and Europe. Transport plays a key role in promoting the regional and domestic trade. Central Asia Regional Economic Cooperation (CAREC) has a strategy and action plan to develop six transport corridors, which will improve connectivity and cut transport costs. The proposed investment program (the second investment program) is an extension of the ongoing investment program (investment program I). The Multi-Tranche Finance Facility (MFF) for the second investment program, financed by Asian Development Bank (ADB), aims to reconstruct the Uzbekistan section of CAREC Corridor 2, which connects Uzbekistan to Afghanistan, Kazakhstan, the Kyrgyz Republic, Tajikistan and Turkmenistan. The investment program fits ADB s Strategy 2020, which is included in the country operations business plan ( ), and is aligned to the UN Decade of Action for Road Safety The proposal is in line with the proposed Uzbekistan Transport Sector Strategy ( ) and road map, as well as the CAREC Transport and Trade Facilitation Strategy and Action Plan. 3. The investment program II will increase domestic and international trade and will have an impact on sustainable economic development. The outcome will be better transport connectivity, road safety, efficiency and economic development. The outputs of the Project will include (i) 236 kilometer reconstructed section of CAREC Corridor 2 road; and (ii) implemented road sector sustainability plans, which relate to road safety and asset managements. The investment will be split into three separate projects. The outputs under each project will be as follows: Project 1. Road Development: The output will be about 58 km of the reconstructed section of A373 highway (between Km116 and Km190). The investment will upgrade the existing four-lane section with an international design within the existing right-of-way. Project 2. The outputs will be nearly 75 km of the reconstructed section of A373/4P112 highway (between Km 0 and 75), updated road asset management plans, and implemented road safety action plan. Improvement of cross-border facilities for shortening the processing time at Osh, Kyrgyzstan border is covered under a separate bilateral funding. Project 3. The outputs will be 87 km (approximately) of the reconstructed section of A380 highway (between Km 228 and 315), strengthening capacity of the Road Fund for road asset management, piloting the introduction of road user charges on reconstructed road section of Project 1, and implementation of road safety action plan for projects 1 and 2 of the investment program II.

8 6 B. Purpose of the Land Acquisition and Resettlement Framework (LARF) 4. The Land Acquisition and Resettlement Framework (LARF) is formulated based on (i) ADB s Safeguard Policy Statement (2009), and (ii) National Laws and legislations. The LARF is a project-specific document that guides the formulation of land acquisition and resettlement plans (LARP) of the various tranches under this project/loan. 5. This LARF aims to provide guidance on safeguard screening, assessment, institutional arrangements, and processes to be followed for project components. The purpose of this LARF is to do the following: (i) explain the general anticipated impacts of the subprojects to be financed under the proposed MFF; (ii) specify the requirements that will be followed in relation to subproject screening and categorization, assessment, and planning, including arrangements for meaningful consultation with affected people and other stakeholders and information disclosure requirements and, where applicable, safeguard criteria that are to be used in selecting subprojects and/or components; (iii) assess the adequacy of the client s capacity to implement national laws and ADB s requirements and identify needs for capacity building; (iv) specify implementation procedures, including the budget, institutional arrangements, and capacity development requirements; (v) specify monitoring and reporting requirements; and (vi) describe the responsibilities of the client and of ADB in relation to the preparation, implementation, and progress review of social safeguard documents of subprojects. II. OBJECTIVES, POLICY FRAMEWORK AND ENTITLEMENTS 6. The LARF has been prepared for the MFF and will be applicable to all the tranches under this MFF. The resettlement principles adopted in this framework reflect the principles and procedures found in the national legislations and Asian Development Bank s Safeguard Policy Statement (SPS, 2009). The specific details of these legal and policy framework are enumerated below. 7. The LARF outlines the objectives, policy principles and procedures for land acquisition, compensation and other assistance measures for Affected Persons. It includes guidance on screening and categorization, assessment, planning, institutional arrangements and processes to be followed for all subprojects. 8. The executing agency (EA) will be responsible for conducting the social assessment and formulating LARPs for subsequent tranches, as per the procedures outlined in this LARF. The draft LARP will be disclosed to the affected persons and submitted to ADB for review and approval prior to commencement of any civil works. Compensation and other assistances will have to be paid to APs prior to any physical or economic displacement of affected households Policy and Legal Framework 9. The policy framework and entitlements for the Program are based on national and local laws and regulation and the ADB s SPS, The salient features of government and ADB polices are summarized below.

9 Relevant Provisions regulating Land Acquisition and Compensation in Uzbekistan Land code (30 April 1998) 10. The Land Code (LC) is the main regulatory framework for land related matters in Uzbekistan. The LC regulates allocation, transfer and sale of land plots, defines ownership and rights on land. It describes responsibilities of different state authorities (Cabinet of Ministers, province, district, city Hokimiyat) in land management; rights and obligations of land possessor, user, tenant and owner; land category types, land acquisition and compensation, resolution of land disputes and land protection. The LC also defines the terms of rights termination on land plot, seizure and land acquisition of land plot for state and public needs, and terms of seizure of land plot in violation of land legislation. Housing Code (24 December 1998) 11. The Housing Code (HC) is a regulatory framework for housing related matters of individuals and legal entities. This law regulates seizure, compulsory purchase and compensation on housing matters. Housing Code defines ownership types of housing, rights and obligations of owners, terms of use, and maintenance of housing. The HC provides legal and regulatory framework in case of seizure and compulsory purchase of housing from individuals and legal entities. Civil Code (29 August 1996) 12. The Civil Code (CC) defines the legal status of participants of civil relations, the grounds and procedure of implementation of property rights and other proprietary rights, rights on intellectual property, regulates the contractual and other obligations, as well as other property and related personal non-property relations. The CC defines general rules of property seizure, determination of property cost and rights for compensation, terms of rights termination. Resolution of Cabinet of Ministers 97 (29 May 2006) 13. This resolution regulates compensation for losses to individuals and legal entities due to seizure of land plots for state and public needs. This regulation is mainly dealing with land plots, houses, building and structures of individuals and legal entities. 14. The resolution determines the procedure for seizure of land or part thereof, as well as the procedure for calculating the amount of compensation to individuals and legal entities for the demolished residential, industrial and other buildings, structures and plantings in due to seizure of land for state and public needs. The Resolution contains: i. procedure for calculating the amount of compensation to individuals and legal entities for the demolishing houses (apartments), buildings, structures and plantings due to seizure of land plots for state and public needs; ii. procedure and conditions for providing residential premises for owners of demolishing houses; iii. procedure and conditions for providing land plots to individuals for individual housing construction instead of the demolishing residential house (apartment);

10 8 iv. procedure of losses compensation to legal entities due to seizure of land plots for state and public needs; v. procedure and calculation terms for transfer and reinstatement at the new place of dwelling houses, buildings and structures to be demolished; vi. Procedure and calculation terms of in case of construction in a new place of dwelling houses, buildings for individuals and legal entities, houses (apartments) of which are to be demolished. 15. Hokimiyat of respective districts (cities) are required to notify in writing the owners of residential, industrial and other buildings, structures and trees about the decision, not later than six months before the demolition, with the annex to the notice copies of the relevant decisions of the Council of Ministers of the Republic of Karakalpakstan, Hokim of provinces and Tashkent City on seizure of land, demolition of residential, industrial and other buildings, structures and trees located on the land plot. Resolution of Cabinet of Ministers 146 (25 May 2011) 16. This Resolution is aimed to improve the procedure of granting land plots, protect the rights of legal entities and individuals on land, improve the architecture of settlements and the efficient use of their land for construction in accordance with the Land Code and the Town Planning Code. 17. This resolution has approved two Regulations: (i) Regulation on the procedure for granting land for urban development and other non-agricultural purposes, (ii) Regulation on the procedure of compensation for land possessors, users, tenants and owners, as well as losses of agriculture and forestry. 18. The Regulation on the procedure for granting land for urban development and other nonagricultural purposes contains the following provisions: Order of land plot location, preparation and approval of site selection and land allocation documents without approved planning documentation; Order of placement, selection and land allocation with approved planning documentation, Order for rejection in the selection and land allocation for construction; Provision(sale) of land plots for individual housing construction; Elements of urban planning documents and development regulation lines. 19. The Regulation on the procedure of compensation for possessors, users, tenants and landowners, as well as losses of agriculture and forestry includes the following: Compensation for losses of owners, users, tenants and land owners; Compensation for losses of agriculture and forestry; Cost of irrigation and developing equal new land plot in return for seized irrigated agricultural land; Cost of fundamental improvement of grassland and pasture; Scheme for determination of losses of land possessors, users, tenants and owners, as well as losses of agriculture and forestry; Coefficients on location of seized land plots.

11 9 20. The losses of land possessors, users, tenants and owners, as well as losses of agriculture and forestry should be compensated before granting of documents certifying rights on land plot. 21. The regulation also orders that demolition of house, or building shall be done only after agreeing on compensation and providing replacement premises. The regulation orders that compensation has to be paid before starting any construction work. 22. The land possessors, users, tenants and owners, whose land plots are seized and to whom land plots are granted, in case of disagreement with defined amount of losses, can appeal to court. 23. In case of acquisition and temporary occupation of land plot or part thereof, the following would be subject to compensation: Cost of land plot, owned by individuals and legal entities; Cost of residential houses, constructions and installations, including incomplete constructions, and also located outside of allocated plot, if its further utilization is impossible due to seize of land plot. Cost of fruits and berries, protection and other perennial plants; Cost of incomplete agricultural production; Lost profit. 24. Above Laws and Regulations mention that non-titled and squatters on land and building/structures are ineligible for any compensations. 25. Collectively, these regulations provide a sound basis for acquiring land for public purposes and for compensating land users according to the registered use of the land in Uzbekistan Property relations in Uzbekistan 26. All land resources in Republic of Uzbekistan are owned by the state and are subdivided into several categories according to the main purpose of land. Considering the unique character of the land ownership pattern in Uzbekistan, Table 1 below provides details of the various kinds of property relations, the titles and legal ownership for different category of land. Table 1: Property Relations and Ownership Status for different Category of Land Category of According to Type of Deed or Who owns Who uses the Land Land Code of Land Right document land? land Uzbekistan provided category of land Residential Lands of Lifelong State Act City Citizens populated areas inheritable granting the hokimiyat/ (towns, possession right for District settlement and Lifelong hokimiyat rural populated inheritable areas possession. Business Lands of Permanent State Act City Legal entities

12 10 Category of Land Cropping farms Orchard lands / Peasant farm (in our LARP peasant farms also defined as Orchard since they have planted trees) Community utilized facilities Public buildings and state enterprise According to Land Code of Uzbekistan category of land populated areas (towns, settlement and rural populated areas Lands of Agriculture Lands Agriculture of Lands of populated areas (towns, settlement and rural populated areas. Lands of industry, transport, communication, defense and other purpose Type of Land Right Deed or document provided possession granting the right for permanent possession, Temporary use on the lease terms up to 50 years but not less than 30 years Lifelong inheritable possession Permanent or temporary use Permanent use, Contract. State Act granting the right for Lifelong inheritable possession. Official State Act granting the right for permanent possession, District Hokim issues the same. Official State Act granting the right for permanent possession, Who owns land? hokimiyat/ District hokimiyat District Hokimiyat District Hokimiyat District Hokimiyat District Hokimiyat Who uses the land Farmers. But they cannot sublease the land. Citizens who has not legal titles (bank account, stamp) and citizen with legal titles. Legal entities (companies, state enterprises) Ministries or other public entities can run. People can use but without any rights, always it will be under District ownership. Legal entities, State Enterprises. In accordance with the district Hokim decree the part of land that is unused can be rented

13 11 Category of Land According to Land Code of Uzbekistan category of land Type of Land Right Deed document provided or Who owns land? Who uses the land out for legal and physical persons under the short-term rent. Reserve Land Lands of reserve land N/A N/A District Hokimiyat Can be given for agricultural purposes under the lease and rented out Relevant ADB Policies ADB Safeguard Policy Statement (SPS) ADB Safeguard Policy Statement 2009, recognize and address the R&R impacts of all the Displaced Persons irrespective of their titles and require for the preparation of RP in every instance where resettlement occurs. These ADB policies are the guiding policies to identify impacts and to plan measures to mitigate various losses of the projects. The guiding principles on ADB s policy on Involuntary Resettlement are prescribed in SR2 of the 2009 SPS. The objectives are to: (i) avoid involuntary resettlement wherever possible; (ii) minimize involuntary resettlement by exploring project and design alternatives; (iii) enhance, or at least restore, the livelihoods of all displaced persons in real terms relative to pre-project levels; and (iv) improve the standards of living of the displaced poor and other vulnerable groups. 28. The involuntary resettlement requirements apply to full or partial, permanent or temporary physical displacement (relocation, loss of residential land, or loss of shelter) and economic displacement (loss of land, assets, access to assets, income sources, or means of livelihoods) resulting from (a) involuntary acquisition of land, or (b) involuntary restrictions on land use or on access to legally designated parks and protected areas. Resettlement is considered involuntary when displaced individuals or communities do not have the right to refuse land acquisition that result in displacement. This occurs in cases where (i) lands are acquired through expropriation based on eminent domain; and (ii) lands are acquired through negotiated settlements, if expropriation process would have resulted upon the failure of negotiation ADB Processing Requirements 29. ADB Safeguards Policy 2009 states: For MFFs with potential involuntary resettlement impacts, the borrower/client will agree with ADB on a resettlement framework before ADB approves the MFF. The framework will clarify safeguard principles and requirements governing screening and categorization, social and environmental assessment, and preparation and

14 12 implementation of safeguard plans of components, and projects to be prepared after MFF approval. 30. In line with ADB policy, Project appraisal of the MFF and each tranche and approval of the implementation of tranche projects will require the preparation of the following: (i) A LARF will be prepared which is applicable to all tranches. The LARF will be reviewed, if necessary updated, and submitted for ADB approval at the start of the preparation of each tranche. (ii) An Initial Poverty and Social Assessment (IPSA) indicating, for each tranche, whether LAR impacts are likely to occur, type of impacts, likely magnitude, and whether there may be Indigenous Peoples (IP), as defined by ADB's Safeguard Policy Statement (June 2009) and its Safeguard Requirement 3: Indigenous People, affected; and, (iii) If LAR occurs, prepare a Resettlement Plan (LARP) following the requirements as stated in the approved RF of the Investment Program for each project under a tranche. The LARP(s) should be based on detailed design and commensurate to the severity of impacts. The LARP will include detailed compensation and administration budgets and implementation schedules linking LAR tasks to the initiation of civil works. (iv) Submit the LARP(s) for ADB review and approval prior to implementation. 31. Based on ADB policy & practice, the appraisal of the MFF and each specific tranche and approval of project implementation will be based on the following LAR-related conditions: (i) MFF/first tranche appraisal: Conditional on preparation/disclosure of a LARF for the whole MFF acceptable to ADB and of LARPs of the first tranche project activities, if it involves LAR. (ii) Following tranches appraisal: Conditional on review/update/disclosure of the LARF, and preparation/disclosure of LARPs consistent with the revised LARF for projects with LAR. (iii) Contract awards signing: Conditional to the preparation/disclosure of relevant updated LARP approved by ADB and reflecting final impacts, Displaced Person (DP) lists and compensation rates. (iv) Provision of notice to proceed to contractors: Conditional on full implementation of the LARP (full and final delivery of compensation/rehabilitation) for the relevant section of the project and submission of compliance report on LARP implementation. Such a condition will be clearly spelled out in the text of the civil works contract Other Cross-Cutting ADB Policy/ Themes 32. Gender and Development (1998). ADB policy adopts gender mainstreaming as a key strategy for promoting gender equity, and for ensuring that women participate and that their needs are explicitly addressed in the decision-making process for development activities. The 2009 SPS also reiterates the importance of including gender issues in the preparation of safeguard documents at all stages to ensure that gender concerns are incorporated, including gender-specific consultation and information disclosure. This includes special attention to

15 13 guarantee women s assets, property, and land-use rights and restoration/improvement of their living standards; and to ensure that women will receive project benefits. 33. Public Communications Policy (2011). This policy seeks the active participation of affected people and other stakeholders during the development and review of safeguard policies on ADB-assisted programs and projects. With respect to land acquisition and involuntary resettlement, the EA shall make available the social safeguards document to APs in the following manner, consistent with ADB s OM Section F1/OP (January 2010): (i) before Project appraisal, the draft document; (ii) after completion, the final document; and (iii) following revisions as a result of detailed technical design or change in scope in the program or project, the revised social safeguards document. The information thereon can be made available in the form of brochures, leaflets or booklets in the local language/s. When APs include non-literate people, other appropriate communication methods will be used. The social safeguards document in the forms of draft, final and revised version shall be publicly disclosed at ADB website. 34. Accountability Mechanism (2012). This mechanism is part of ADB s continued efforts to enhance its capacity in responding to and/or resolving the problems associated with the implementation of its policies in all programs or projects it assists. It consists of a consultation phase and a compliance review phase, by which the problems or issues raised by the affected people and/or stakeholders are investigated and resolved. The complaints who have exhausted the effort to resolve problem with the Project and ADB s operation, can submit their complaint in written in any national language of the affected people to Compliance Review Panel. In Uzbekistan, the complaints could be submitted through the ADB Resident Mission at 1A.Khodjaev Street, Tashkent (Tel: : Fax: ; Website: Harmonization, Gap Filling Between ADB and the Policy, Uzbek Laws, Regulations and Procedures 35. Comparison of the Uzbekistan LAR Policy with the ADB Involuntary Resettlement Safeguard Policy indicates that key elements of the ADB Policy are present - particularly those related to valuation of immovable property. The ADB s principle of avoidance or minimization of resettlement is reflected in Uzbekistan Legislation. 36. The key policy differences are related to APs without title, or registration (businesses and structures). In order to remedy this, Uzbekistan has ensured that all land, businesses and structures will be registered prior to resettlement, at no cost to the AP, and then transferred or compensated under the relevant entitlement. 37. Some of the other areas of difference between ADB Policy and National Laws are issue of information dissemination and consultation with displaced households, lack of clarity on land compensation, lack of compensation for businesses that lose income as a result of the Project, and no provision for severely affected households or vulnerable households. 38. A summary comparison between the Uzbekistan Law and Regulation and ADB policies, and reconciliation provisions to fill the gaps is presented as Annex 1.

16 Resettlement Policy & Principles for the Project 39. In line with the Uzbek national and local laws and regulations on land acquisition and compensation and incorporating ADB SPS , the following principles for the compensation/rehabilitation of families affected by the Project will be followed, and communicated to all stakeholders: (i) (ii) (iii) (iv) (v) (vi) (vii) (viii) (ix) (x) (xi) The design of the road will minimize the need for acquisition of houses or agricultural land. Where there will be permanent acquisition of land and buildings, identification, compensation and assistance will be provided prior to commencement of any civil work/construction related activities. All displaced persons will receive compensation and assistance as per the entitlement matrix of LARF/LARP. In case of unregistered land users in case of Orchard land, to enable the Project to compensate such unregistered land users under Uzbekistan laws, representatives from the District Cadastral Offices will such advise affected land users to register or update the registration of their lands. Under the LARP those who have unregistered land will be registered free of charge prior to compensation. This will be facilitated by the RRF. All construction through agricultural land will be timed to minimize any impacts on the income and activities of adjoining land parcels. All construction over public rights of way footpaths, canals, driveways and roads will be undertaken rapidly and without undue delay to avoid inconvenience to business and residences. Detailed consultations will be undertaken on continuous basis to reach out to all affected households to keep them informed of the process and implementation of LARP. Representatives of affected households will be invited to participate in the Hokimiyat valuation meetings. A grievance redressal procedure for the project will be established to resolve all issues, grievances of the affected households in a time bound manner. Those people who face significant impacts (losing more than 10% of their productive asset and/or physically displaced from housing) will receive additional assistance. Vulnerable groups, including female-headed households, the poor, disabled, or families with significant numbers of elderly or disabled members will receive additional assistance. AP s may use and exercise their rights to a land plot and make necessary expenditures in compliance with its purpose after notification of acquisition for public needs until compensation is agreed. However, there will be no entitlement to additional compensation based on these improvements if made after the cutoff date. If a land plot becomes unviable due to acquisition then the whole land plot will be compensated.

17 Eligibility and Entitlements 40. The following groups of affected persons (APs) are included in the LARF: (i) (ii) (iii) (iv) All APs losing land (with different title status namely lifelong inheritable possession, permanent possession status, leaseholder, unregistered but willing to pay tax and become leaseholders). APs losing buildings, crops, tree, or other objects attached to the land; and, APs losing business and income Tenants and employees. 41. Compensation eligibility will be limited by a cut-off date established based on the last day of the census of Affected Households. Households who settle in the affected area and/or make any changes in their housing structure or construct or erect new physical structures after the cut-off date will not be eligible for compensation. They will, however, be given sufficient advance notice requesting them to vacate premises/corridor and dismantle affected structures prior to project implementation. Their dismantled structures will not be confiscated and will not be subject to fine or compensation Formalization of Lease/Registration 42. To enable the Project to compensate unregistered land users under Uzbekistan laws, representatives from the District Cadastral Offices will advise affected land users to register or update the registration of their lands. Under the LARP those who have unregistered land will be registered free of charge prior to compensation. This will be facilitated by the RRF. 43. APs who have already paid for registration after project identification, and feel that this was unjust, can register their case to the grievance committee providing proof of date and amount charged. GRC depending on merit of case may refund their registration fee Compensation and Valuation of Assets 44. This section details the entitlements for compensation for assets affected by the project Land 45. Compensation for agriculture land will be on a land for land basis, with land being provided to owners by the District Hokimiyat following assessment by the LARC. Such land will be of equal value/productivity in a nearby location and with comparable associated services/ facilities, or compensation to provide such services. Transaction costs, registration fees, if any, will be borne by RRF. 46. Alternatively, cash compensation for agricultural land at replacement cost will also be provided. The compensation for the permanent loss of land use rights over the affected agricultural land will be compensated equivalent to 4 years net average income of the past 3 years (of the affected annual crop). 47. In cases wherein all or parts of the lease holding become unviable, unaffected portions of a plot will also be compensated.

18 In the case of Orchards, APs who do not have a formal lease at the cut-off date, will have a choice to pay unpaid land taxes 1 and formalize the lease. The affected leased land will then be compensated as per a normal leaseholder. 49. Severe loss of agricultural land. In the case of severe impact, where more than 10% of a productive asset (leased and unleased land) is to be acquired, a severe impact allowance will be paid. This will be equal to the net income from an annual crop production (inclusive of winter and summer crop in addition to standing crop compensation). This is in addition to the compensation for land loss. 50. Residential land will also be compensated on a land-for-land basis. Land replacement has to be in the immediate vicinity of the affected land (if such land is available) or another location agreeable to the AHs. Each affected residential land plot will be allocated a replacement plot of 600 m 2. 2 In case the loss of residential land will result in the relocation of the AH, compensation for land plot will be provided to each affected family in the AH. The land allocated for housing will have the following terms: (i) right for lifelong inheritable possession, and (ii) house has to be build within two years. 51. For affected land that was used for business purpose, land-for-land compensation will be applied in proportion with the business requirement. The first option would be to provide land at same location but away from the ROW in line with the road design location. The second option would be to provide land at the nearest available location agreeable to AH. 52. Alternatively, cash compensation for residential, commercial and orchard land at replacement cost will also be provided to those APs losing a small proportion of land holding and not wanting replacement land in lieu for the same Structures 53. Buildings (registered or not) will be compensated at replacement cost. For partial impacts (structure wall, fences etc), cash compensation at replacement rates will be paid to restore the remaining structure to its original state. Unaffected portions of a structure will also be compensated if they become non-livable after impact Crops and Trees 54. Loss of income from crops planted on the affected land will be compensated in cash at replacement cost based on 1 year of production cost (inputs) plus an allowance equivalent to 1- year average net income computed based on the average income over the past 3 years. 55. Loss of income from fruits trees will be compensated in cash based on the average annual income for the past 3 years multiplied by the remaining productive life of the fruit bearing trees. In case of loss of timber trees, compensation will be based on the market value of the dry wood volume. The compensation for trees will be free of deduction for the value of the wood left with the AH. 1 This unpaid land tax relates to the use or lease of land. This is different from the transaction costs related to the processing of compensation, which will be borne by the project. 2 Resolution of Cabinet of Ministers 272 ( ) stipulated that for individual hosing 600 m2 is to be allocated.

19 Loss of Income/Livelihood 56. HH losing business will be paid cash compensation for the period of business interruption 3 up to 6 months, or 6 months cash compensation in case of permanent closure of business. This will be calculated based on the estimated average monthly income in the past 3 years multiplied by the number of months of business interruption. 57. Workers from the affected businesses will be paid for lost wages for the duration of business interruption up to 6 months, or 6 months cash compensation in case of permanent closure of business. In case of agricultural workers losing their employment as a result of land acquisition, cash compensation corresponding to their salary (in cash and in kind) for the remaining part of the agricultural year or contractual period whichever is higher will be given Relocation 58. Households losing residential or commercial structures and who need to relocate will each be provided with a relocation allowance that includes (a) 200,000 UZS per month up to a maximum of 2 years while the new house is being erected; and (b) 300,000 UZS for the transportation of the family members, goods and chattels to temporary and permanent relocation sites Vulnerable Households 59. Vulnerable households will be provided with a one-time additional allowance equivalent to their 3-month average household income. In addition, members of vulnerable households will also be prioritized in project related employment. The Mahallas and district governments have a record of all households in the communities and will be contacted while identifying the vulnerable households. 60. All compensation and assistance to be provided for this project is summarized in the entitlement matrix below (See Table 2). This entitlement matrix is in compliance with LARF. Table 2: Entitlements Matrix Type Specifications Affected HHs Entitlement A. Impact on Land A.1. Agriculture land All land losses independent of impact severity. Leaseholders 1. Land for land compensation with plots of equal value/productivity class, comparable location, and agricultural support services (or compensation to provide such services); OR Cash Compensation at replacement cost by providing compensation for loss of land use rights equivalent to 4 years of the net average income of the past 3 years (of the affected annual crops.) 3 Business interruption includes the time for receiving a new land plot and designing/building of a new commercial structure.

20 18 Type Specifications Affected HHs Entitlement 2. Compensation for pastureland will be compensated in cash based on the average annual production of pasture grass (at market rate) multiplied by four (4 years). 3. Unaffected portions of an affected arable plot will also be compensated, if the same becomes unviable after impact. 4. Transaction cost, registration fee, related to new plot allotted, to be will be borne by RRF. Land for reclamation of new land Additional provision in case of severe impacts (more than 10% loss of productive assets) Cropland, orchard, state reserve land, pasture and other classified as agricultural land Leaseholders 1. Severe impact allowance equal to the net income from annual crop production (inclusive of winter and summer crop in addition to standing crop compensation) Special account of Provincial Department for Land Use and State Cadastre of the Namangan. 1. Compensation is to be paid to develop new lands or through irrigation and agro-irrigation activities to raise the productivity of existing lands in accordance with the unit rate set by Cabinet of Minister Resolution # 146 and in case of absence such value category of agricultural land such as pasture, reserve land and others will be calculated by application of special unit rate set by this Resolution. The period for rehabilitation of under-received products shall be considered as being equal to four years, during which the land plot shall be selected for development of new lands or for irrigation improvement of existing irrigated lands. A.2. Residential /Commercial land /Orchard land Land Loss Lifelong inheritable possession/ permanent possession 1. Land for land compensation through provision of a plot comparable in value/location to the plot lost including services (or compensation to provide such services) to plots lost with registration and transfer charges if any to be borne by the project; OR Cash Compensation at replacement cost to be determined by the Independent Valuer. 2. Unaffected portions of a plot will also be compensated if they become unviable after impact occurs. 3. All mandatory fees for registering the land, completion of required house

21 19 Type Specifications Affected HHs Entitlement design, surveys, acquiring permission for construction under the AHs name and any other related costs will be paid by RRF. A3. Unregistered agricultural land Land loss B. Impact on Structures Residential Full or partial /Commercial loss of Structures Structures Residential /Commercial Structures Full or partial loss of Structures Unregistered lessee but willing to pay unpaid land taxes 4 and become a leaseholder. Lifelong inheritable possession/perm anent possession Lifelong inheritable possession/perm anent possession All entitlements for agricultural land losses as stated above for leaseholder. Cash compensation at full replacement rate for affected structure/fixed assets free of salvageable materials, depreciation and transaction costs. OR 1. Construct a house with life long inheritable possession that HH can give transact, or inherit to his children. Salvageable material will be allowed to be taken away by owner at no extra cost. 2. Cost of replacing existing water, electricity, gas and phone connections will be included in the compensation. 3. In case of partial impacts on structures (structure wall, fences etc), cash compensation at replacement rates to restore the remaining structure. 4. Unaffected portions of the structure will also be compensated at replacement value if they become unviable after impact. Residential/ Commercial Structure Loss of place to rent Tenant 1. New lease by landlord or 3 months cash equivalent of existing lease to allow for a new lease to be found and signed. 2. Compensation for lost rent paid in advance. The time is to be established by the Independent Valuer. 3. Tenant without formal notarized lease to show proof or evidence in order to claim compensation C. Impact on Crops and Trees Agriculture Loss of crops All affected land, Households orchard, within 1. Cash compensation at replacement cost for primary (and secondary crops if any) on affected land based on 1 year of production costs 4 Such taxes are different from all transaction-costs related to the processing of compensation, which will be borne by the project.

22 20 Type Specifications Affected HHs Entitlement residential complex (inputs) plus an allowance equivalent to 1 year average net income based on the average income over the past 3 years. Loss of fruit Trees Loss of timber trees All Affected Households (including non leased land owner) All Affected Households 1. Cash compensation for fruit trees will be based on the average annual income for past 3 years multiplied by the remaining productive life of the fruit bearing trees 2. Felled fruit trees will be kept by the AHs. 1. Cash compensation for timber trees will be compensated based on market value of dry wood volume. 2. Felled trees will be kept by the AHs. D. Impact on Income and Livelihood Employment Loss of Agricultural from affected employment workers losing agricultural from affected their contract land agricultural land Business /Employment Loss of business or employment Business owners (including those who are not registered) Cash indemnity corresponding to their salary (in cash and in kind) for the remaining part of the agricultural year/or contractual period whichever is higher in monetary value 1. Cash compensation for the period of business interruption up to 6 months, or 6 months cash compensation in case of permanent closure of business. Calculation will be based on the estimated net monthly income during the past 3 years multiplied by the number of months the business will be interrupted. This period includes time for receiving new land plot, designing of new construction and erection of premises and structures of an equivalent nature and size. 2. All affected business holders will be exempted from all mandatory tax for a period of relocation up to 6 month. In cases wherein exemption is not possible, RRF will pay the required taxes. Loss of Employment from affected businesses Workers/ Employees affected businesses from 1. Indemnity for lost wages for the duration of interruption of employment up to 6 months, or 6 months cash compensation in case of permanent closure of business. E. Relocation Relocation of Full or partial All affected ,000 UZS per month cash

23 21 Type Specifications Affected HHs Entitlement loss of structure households needing relocation Residential and Business Structures F. Vulnerable Households Vulnerable Low income Affected Households households, female-headed households with fewer than 2 adult income-earners, the elderly headed HHs with unemployed family members 5 and disabled G. Impact on Community Structures and Assets Community Loss or damage Community Structures to public owned Assets and Assets infrastructure and utility H. Temporary Impacts during construction Temporary All affected impact on households and private or assets public Land, assets and/or Income allowance for each affected household for temporary housing for a maximum 2 years while erecting a new house ,000 UZS cash allowance for each affected household for transportation of the family members, goods and chattels to temporary and permanent relocation sites. 1. One-time additional allowance equivalent to their 3-month average household. 2. Priority for employment in projectrelated jobs, training opportunities, selfemployment and wage employment assistance. Rehabilitation/replacement of affected structures/utilities (i.e. footbridges, roads, schools, health centers etc) to pre-project level. Any kind of temporary land acquisition or impact on private and public assets during project implementation for civil work purposes will be compensated by contractor based on replacement value for structures, rentals for land use, replacement value for crop and tree loss as stated above in the entitlement matrix. I. Any unanticipated Impacts Any unanticipated impacts identified during Project implementation will be compensated in full at replacement rate or the entitlements listed in the Resettlement Framework prepared for this Project. 5 In case of unemployed APs, necessary required paper from local Labour authorities.

24 22 III. SOCIO ECONOMIC INFORMATION AND SURVEYS 3.1. Surveys 61. A social impact assessment (SIA) survey of all APs will be undertaken in the project area to determine the magnitude of displacement and prospective losses, identify vulnerable groups, ascertain costs of compensation, livelihood restoration and improvement and relocation (if required), and to prepare a LARP for implementation. The SIA survey will comprise of: i ii Baseline Socio-economic Sample Survey. The purpose of the baseline socioeconomic sample survey of APs is to establish monitoring and evaluation parameters. It will be used as a benchmark for monitoring the socio-economic status of APs throughout the project implementation and after project completion. The survey will cover 10% of APs and 20% of significantly APs. The survey will also collect gender-disaggregated data to address gender issues in resettlement. The survey has several components: (i) preparation of accurate maps of the project area; and (ii) analysis of socio-economic conditions of APs and income resources of the population. Census Survey. The purpose of the census is to: (i) register who the potentially affected persons are; (ii) assess their income and livelihoods; and (iii) inventory of their assets affected due to the project; (iv) gender-disaggregated information pertaining to the economic and socio-cultural conditions of displaced persons. The census will cover 100% of affected persons Land acquisition and Resettlement Plan Preparation 62. LARP will be prepared based on the results of the census, baseline socio-economic sample surveys, and valuation of lost assets. It will include the results and findings of the census of affected persons, and their entitlements to restore losses, institutional mechanisms and schedules, budget, assessment of feasible income restoration mechanisms, grievance redress mechanisms, and results monitoring mechanisms. The land acquisition and resettlement plan should be formulated as per outline in Appendix II. 63. LARP will comply with the principles outlined in this agreed resettlement framework. Each LARP will be submitted to ADB for review and approval prior to contract award. Disbursement of compensation payments and entitlements will be made prior to displacement. 64. The specific resettlement-related activities to be performed such as social impact assessment, census and socio-economic survey, resettlement planning, public consultation, development of mitigation measures and income restoration measures, implementation of resettlement plan, monitoring and evaluation, and their subproject implementation schedule will all be detailed in the resettlement planning document Gender Impacts and Mitigation Measures 65. Female-headed households are considered a vulnerable group as per this LARF. Any negative impacts of the project on female-headed households will be dealt with on a priority basis. LARP will formulate measures to ensure that socio-economic conditions, needs and priorities of women are identified and the process of land acquisition and resettlement does not disadvantage women. It will ensure that gender impacts are adequately addressed and

25 23 mitigated. Women s focus groups discussions will be conducted to address specific women s issues. During disbursement of compensation and provision of assistance, a priority will be given to female-headed households. Joint ownership in the name of husband and wife will be provided in cases of non-female-headed households. IV. COMPENSATION, INCOME RESTORATION AND RELOCATION 4.1. Compensation 66. Land acquisition and resettlement impacts will be compensated in accordance with the entitlement matrix (Table 2). As per the resettlement principles adopted for the Project, all compensation for loss of land, structures, and other assets will be based on full replacement cost. Cash compensation and other entitlements prescribed in the Entitlement Matrix will be provided to the each category of affected persons, before the project starts. 67. APs will be provided with an advance notice, prior to possession being taken of their land/properties. After payment of compensation at replacement cost, they would be allowed to take away the materials salvaged from their dismantled houses and shops and no charges will be levied upon them for the same. A notice to that effect will be issued clarifying that they can salvage the materials. All compensation and assistance will be paid to them prior to displacement or commencement of construction activities in sections ready for construction. The EA will provide satisfactory evidence to ADB that payment of compensation and provision of assistance are fully completed before the commencement of civil works Valuation of Lost and Affected Assets 68. All valuation of the property and assets will be at the replacement value. The LARP sets eligibility and entitlement provisions establishing compensation rates in accordance with guidelines from the Land Code of the GoU and ADB SPS Structures and buildings will be valued through calculating the replacement cost based on cost of materials, type of construction, labor, transport and other construction costs as on date. No deductions will be applied for depreciation or transaction costs. The cost of reconnection of lost water, electricity, gas and telephone connections will be included in the compensation (the new land sites are assumed to have similar services available). Salvaged materials will be allowed to be taken away by the APs prior to demolition at no charge. 70. A certified valuation expert, requested directly by the AHs, will do assessment of the affected structures. Fees paid for valuation service will be paid by RRF to AHs. 71. To determine replacement costs for affected assets, where it is possible to undertake replacement cost surveys, which in Uzbekistan is restricted to houses, other physical structures and land not classified as agricultural land, the Project will base it estimates on (i) values of the Government Rural Housing project 6 ; (ii) recent house sales identified by AH and other local informants; and (iii) current cost estimates of construction markets in Namangan. The District Department of the Land Resources and Cadastral Department may be consulted for undertaking survey. 6 The Government Rural Housing Project was chosen because (i) it is focused on rural areas; (ii) market-values are updated on an annual basis and a comprehensive database is available in Namangan; and (iii) the GoU is prepared to accept replacement costs based on this Project.

26 Income Restoration 72. Each AP whose income or livelihood is affected by the project will be assisted to improve or at least to restore it to pre-project level. Income restoration schemes will be designed in consultation with affected persons and considering their resource base and existing skills. Compensation for loss of primary source of income will be as indicated in the Entitlement Matrix. A separate budget and institutional setup for this activity will be indicated in the LARP. 73. Priority Work Placement. All AP s and project stakeholders, such as herders will receive priority entitlement to work in construction crews and for rehabilitation efforts (such as tree replanting). These standards will be incorporated in construction contracts and details included in progress reports. Construction contracts will ensure that there is at least 30% representation of women in manual labour jobs, and that adequate programs are in place to train women in specialised machinery and supervisory roles. 74. Tree Planting. The support of tree planting groups by AP s to replant lost trees along corridors, fence lines and canals. Funding would assist with seedling preparation, planting and maintenance. 75. Community Road side facilities. Small scale support funding for women s groups to build and maintain (through charges) roadside toilet, water facilities. Areas could also include shaded areas suitable for market stalls to sell produce; a combined canteen/magazine/public toilet/shower/paynet shop. 76. Small-scale vocational training particularly for women and the poor activities may include sewing workshop, auto-mechanic etc Relocation 77. The relocation strategy will ensure that all displaced HH are relocated in close vicinity with the same or better conditions including connection of all necessary utility services (water, gas, electricity) at the relocation site. 78. The key options of relocation of residential and commercial/business structures will be developed in consultation with the displaced population and local hokimiyat of the affected districts. The relocation strategy will mainly include two options: a) Relocation at new Project sites or b) continue to living in their remaining residential or commercial plots. 79. RRF will be responsible for determining and identifying the exact numbers of AHs (residential and business structures) who would need to be relocated. RRF will send official request letter to concerned district hokimiyats for selection and allocation of land plots for these displaced households upon completion of final design and drawing of red lines. RRF will also instruct Design Institute to minimize the impact by amending the final design as much as possible. 80. Even though allowance for temporary housing will be provided, if the new house is under construction, RRF will minimize any civil work in the residential affected areas until

27 25 reconstruction of the new houses has been completed. This is ensure that APs are not dislocated twice and will also reduce expenditure in terms of payment of temporary housing allowance. 81. District hokimiyats, on receipt of the request letter from RRF, within one-month will select the new site for relocation. After the site selection, AH will be informed about the site and consultation will be carried out in each settlement. If majority of displaced HHs have no objection to the selected site then within one-month period hokimiyat will allocate the land plot to each affected family unit by ordering the decree. Decree will serve as the transfer of right to the land plot to the displaced households. In case the majority of displaced HHs are not satisfied with selected site then hokimiyat will propose a new alternative sites. The alternative site has to be selected considering the objections from displaced HHs on the previous site. V. CONSULTATION, PARTICIPATION AND INFORMATION DISCLOSURE 5.1. Meaningful Consultation and Participation of key stakeholders 82. Meaningful consultations will be undertaken with APs, their host communities, if any, and the civil society for the project identified as having involuntary resettlement impacts. The consultation process established for the program will employ a range of formal and informal consultative methods. Different techniques of consultation with stakeholders are proposed during project preparation according to the socioeconomic conditions of the community affected, viz., in-depth interviews, public meetings, group discussions etc. 83. Particular attention will be paid to the need of the disadvantaged or vulnerable groups, especially those who are below the poverty line, the landless, the elderly, female-headed households, women and children, and those without legal title to land. The key informants to be consulted, during the project preparation phase and during the LARP implementation are: Heads and members of households who are likely to be affected by the project Vulnerable households Host communities and households Women in the affected as well as host communities Local voluntary organizations and NGOs, Government agencies and departments. 84. LARP will be implemented in close consultation with the key stakeholders. Women participation will be ensured by involving them in public consultation at various level and stages of project preparation and by arrangements, which would enhance their ability to attend such meetings. 85. The EA will ensure that views of APs, particularly those vulnerable, related to the resettlement process are looked into and addressed. The design and supervision consultants will also ensure that groups and individuals consulted are informed about the outcome of the decision-making process, and confirm how their views were incorporated. This will be ensured through focus group discussion and multi stakeholders meetings in the project area. All such meetings and consultation will be documented for future references.

28 Information Disclosure and Land Acquisition and Resettlement Plan Disclosure 86. Information will be disseminated to affected persons at various stages. For the benefit of the community in general and affected persons in particular, a summary of this LARF and LARP will be made available in local language during public meetings at the community level, and be disclosed in public places such as schools, hospitals etc in each of the districts and villages as well as on government and ADB websites prior to project appraisal. This will enable stakeholders to provide inputs on the resettlement process, prior to award of civil work contract. 87. Disclosure meeting describing the current LARF will be organized with all AH in all affected districts. The meetings will be held separately at each mahalla in order to explain and answer in detail to all the questions of AH. A leaflet in local language(s) will be distributed to each AH during the disclosure meetings. The leaflet will describe the project and land requirement for the project, the entitlement matrix, as well as the grievance mechanism, and LARP implementation schedule. Report of the disclosure workshop would be prepared and uploaded on ADB website. 88. Electronic version of the framework as well as the LARPs will be placed on the official website of the Government and the official website of ADB after approval and endorsement by EA and ADB. VI. GRIEVANCE REDRESS MECHANISM 6.1. Grievance Redress Mechanism 89. The APs will have the right to file complaints and queries on any aspect of land acquisition compensation, and resettlement. The RRF will ensure that grievances and complaints on any aspect of the land acquisition, compensation, and resettlement are addressed in a timely and satisfactory manner. All possible avenues are made available to the APs to resolve their grievances at the project level. However, APs are free to address their complaints to the courts at any time and not only after using the GRM. Under the proposed project level grievance mechanism, affected households may appeal against any decision, practice or activity connected with the assessment or valuation of land or other assets, acquisition and compensation. All AHs will be made aware of the procedures they can follow to seek redress, including, if necessary resort to the courts through the Government s grievance mechanism. The Project Grievance Mechanism will be disseminated via the LARP leaflet that will be distributed to affected households through the mahalla or village assembly of citizens or farmers councils during the disclosure workshops Grievance Redress Mechanism 90. The PMU of RRF will establish a simple and accessible Grievance Redress Mechanism (GRM). Figure 6.1 gives the details of the grievance redress mechanism. The GRM provides a number of avenues and levels for grievance resolution and appeals process. 91. The main objective behind project specific grievance mechanism will be to ensure timely and user-friendly solution to the complaints received from the AHs. However, the Project Grievance Redress Mechanism does not prevent any AP to approach the national/ Government

29 27 legal system to resolve their complaints at any stage of the grievance redress process. The APs can address their complaints to the courts at any time and not only after using the GRM. 92. Level 1 (Mahalla/Village Assembly). Under this project, grievance redress mechanism, complaints can be submitted to Mahalla, Village Assembly of Citizens, Farmer Councils, Women Association or directly to RRF. The mahalla/village assembly will try to resolve or clarify the issue within 1 week. Unresolved issues will be referred to the district hokimiyat Grievance Focal Point (GFP). 93. Level 2 (District Hokimiyat). Usually, the District Hokimiyat will be the entry point for receiving complaint or known as a Grievance Focal Point (GFP) 7. In case, complaint is submitted to the GFP, the GFP will establish a contact with the RRF and its PMU, mahalla and other bodies such as village assembly of citizens, farmers councils of which AH are members and will try to resolve the issue within 1 to 2 weeks. 94. Level 3 (Project Management Unit). The RRF through its PMU on a regular basis (weekly or as needed) will check with the GFP whether any complaint is received by GFP. The PMU, on receipt of a complaint from GFP or any other local bodies, will immediately take the following actions: (i) Will inform the complainant within 2 days (ii) (iii) (iv) (v) (vi) (vii) Inform ADB office both resident mission and HQ; Establish complaint handling team with members Head of PMU, representatives from RRF area representative office, District Hokimiyat: Cadastral Department, and Mahalla or Village Assembly of Citizens or/and Farmer s Councils, or/and Women Association. The team will be headed by one of the RRF management staff designated for handling grievances of the project. The team will consult the complainant and gather complainant s concerns; The team will also take advise from independent valuator (in case of grievances related to valuation) All complaints will be resolved in days, and in case additional details are required, a maximum of 30 days will be used to resolve and close the complaint. If complaint is not resolved by Project Grievance Mechanism Team, the PMU will inform ADB office and District Hokimiyat regarding the same. 95. Level 4 (Provincial Hokimiyat). If a grievance is not resolved within 30 days, the complainants or her/his representative can submit its complaint to the provincial hokimiyat. The Provincial hokimiyat will also have 15 calendar days to resolve the complaint. 96. Level 5 (Court). If the complaint is still unresolved, the complainant can submit his/her complaint to the appropriate court of law. 97. The grievance mechanism applies equally to affected households in the project impact area. When reference is made to the Mahalla, it is to the Mahalla that the affected households are a member of. In massives where affected households are not members of a specific Mahalla, the Village Assembly of Citizens or Farmer Councils, or Women Association can play a role similar to that of Mahalla. The district refers to the district that has administrative jurisdiction over the Mahalla of the affected households 7 Under the Government Grievance mechanism, the District Hokim is designated as the Grievance Focal Point.

30 The PMU will be responsible for recording the complaint, the step taken to address grievance, minute of the meetings, and preparation of a report for each complaint. The complaint handling process will be reported to ADB through the quarterly project implementation report. Figure 6.1: Grievance Mechanism Affected Household RRF District Complaint Handling System (GFP) Mahalla, Village Assembly of Citizens, Farmer Councils, Women association PMU Resettlement Consultant Project Grievance Mechanism Team (15-20 days to resolve the compliant) VII. INSTITUTIONAL ARRANGEMENTS AND IMPLEMENTATION 99. This section provides a comprehensive assessment of institutional capacity and resource capability required for preparing, implementing, and monitoring resettlement activities, and describes additional measures necessary to enhance institutional capacity. It describes the organizational procedures for delivering entitlements; and describes the implementation process, including how resettlement preparation, approval, and implementation will be linked to contract awards and the start of the project s civil works The main institutions that will be involved in LAR activities are Republican Road Fund/ Road Fund as executing agency (EA), Project Management Unit (PMU) Safeguard Team, Design Institute (DI), Project Consultants (PC), Provincial (Province) and District (District) and

31 29 municipal towns authorities, Goskomzemgeodezcadastre (State Committee on Land Resources, Geodesy, Cartography and State Cadastre (SCLRGCSC) at district level The key roles of each of these agencies are summed up below: 102. Republican Road Fund (Road Fund) PMU: The Road Fund will have overall responsibility for all aspects of the program. The Project Management Unit (PMU) within Road Fund will be responsible for the day-to-day management of the Project/Program including crossagency coordination, and via the Safeguard Team (ST) for LARP implementation and monitoring the compensation and disbursement The Safeguard Team (ST) under PMU will be directly involved in all LAR related planning, implementation, inter-agency coordination, monitoring and reporting. They will receive supports from the Project Appraisal Consultants (PAC) of the Program and benefit from inputs from the Design Institute (DI), district/municipal executive powers and SCLRGCSC as appropriate. The Safeguard Team in collaboration with the DI will review the LARPs Design Institute (DI): The Design Institute will be in charge of elaborating the design and construction documents for the project. It will collaborate and work closely with the PMU/ Safeguard Team and PAC to: (i) (ii) (iii) (iv) (v) look for measures and alternatives to avoid and minimize land acquisition and resettlement impacts; assemble all documents required for compensation; carry out topographic surveys of the expropriated land and replacement lands; elaborate layouts indicating the location of the worksites and the permanent infrastructures and the perimeter of the required surfaces differentiating the land use patterns in the areas being occupied to serve as a base for the selection of compensation land; Conduct land marking and pegging of the land assigned for temporary use and permanent occupation of acquired land Regional and District State Committee on Land Resources, Geodesy, Cartography and State Cadastre. This is a permanent committee at Provincial and District level. However it plays an enhanced role throughout implementation. It is responsible for: (i) (ii) (iii) (iv) (v) (vi) (vii) identifying land losses incurred by land owners and land users plus agricultural output losses; determining the degree and area of land restitution, including removal and temporary storage of productive soil layer; determining the need for protective sanitary and water protection zones around constructions; preparing proposals on allocation of land plots of equal value under land for land; investigating alternatives to acquiring currently used land through developing unused land; approving the Implementation Act and the attached plan; amending government edicts on land use and land ownership as well as other cadastre documents.

32 Province/District Government. Local government agencies involved in the LARP review and implementation are Province (Province) and District (District) Executive Authorities who will form the Province Commission on Land Acquisition and District Evaluation Commissions. These will form a provincial land acquisition and resettlement committee (PLARC) which will undertake the following: (i) outline locations of constructions and structures affected by the project; (ii) select land for construction sites; (iii) prepare and approve legislation for the right (lease) to use land plots and; (iv) approves the Act for the right to use the land plot In addition to permanent members, the Commission may include representatives of Road Fund, as well as affected legal entities and individuals The PLARC will also estimate losses of landowners and land users in accordance with ADB policy SPS The Commission will prepare Acts for the right to specific plots of land specifying the acquired land area and losses and allowances as determined under the LARF entitlement matrix It is proposed that Land Acquisition and Valuation Committee as part of the PLARC composed of the following members: (i) (ii) (iii) (iv) (v) (vi) (vii) Road Fund PMU Provincial/District Department of Uzavtoyul (State Joint Stock Company) Provincial/District Department of Agriculture and Water Resources Provincial/District of Environmental Protection Organizations to which the alienated land has been transferred for use (Road Fund as EA, PMU/ST and DI). Mahalas leaders, NGO, Dehkan Association (as relevant) Representatives of the affected people 110. Farmer s and Dehkan Associations (FDEA) and Mahalla authorities will be involved in resettlement activities to ensure the rights and interests of affected households. The close coordination with the local Mahalla and farmer associations will help RRF in the following: (i) (ii) (iii) (iv) (v) Dissemination information related with LARP; Checking timely disbursement of compensation to displaced HHs; Obtaining early warnings on the grievances of displaced HHs; Verifying as to whether the Vulnerable displaced HHs were identified according to requirement laid down in this LARP; and Obtaining information regarding any unexpected impacts, if any, being incurred by the displaced HHs Independent Valuation Firms. Independent Valuation Firms will comprise of an accredited private firm with valid license for valuation activities. These firms will be involved both by displaced households and if required by the PMU to estimate the replacement cost of the affected assets Figure 7.1 below illustrates the Institutional and Project Implementation arrangement for this Project.

33 31 Figure 7.1: Project Implementation Arrangement Oblast and District Hokimiyats Road Fund Asian Development Bank (ADB) District office of Land Resources and Cadastre Department (including Land Acquisition and Valuation Committee and Land Acquisition and Resettlement Commission) Environment and Resettlement Consultants of Project Management Unit (PMU) Independent Monitoring Design Institute Independent Valuation Firm Displaced Households Farmer association, Mahalla committee Consultation Information exchange Reporting VIII. BUDGETING AND FUND FLOW MECHANISM 113. Detailed budget estimates for each LARP will be prepared by EA, which will be included in the overall project budget. The budget shall include: (i) detailed costs of land acquisition, and livelihood and income restoration and improvement; (ii) source of funding; (iii) administrative, including staff training; (iv) GRM administrative costs, and (v) monitoring and reporting costs. All land acquisition and resettlement costs will be borne by the RRF and provided in a timely manner to ensure payment of all entitlements prior to displacement.